49 Rcsa Jobs - Page 2

Experience in the broking industry or financial services sector, especially in broking, depository services, or portfolio management. Position Overview We are seeking a dynamic and detail-oriented professional to join our Internal Control Unit . The ideal candidate will play a pivotal role in managing, monitoring, and enhancing the organizations operational risk framework and internal controls. This position requires strategic oversight, thorough policy reviews, and active collaboration with stakeholders to ensure compliance with regulatory and organizational standards. Key Responsibilities Regulatory Assurance: Conduct regulatory assurance across areas such as Broking, Depository Participants, Portfolio Management Services, Research Analyst, Algorithm Trading, Business Associates, Code of Conduct and other critical areas. Highlighting non-compliance to the senior management Follow-up with concern stakeholder for closure of the observation Risk Control Self-Assessment (RCSA): Identify operational risks, document controls, and test their effectiveness. Regularly update the RCSA framework to address emerging risks. Review model risk and assess its impact. Risk Appetite Statement (RAS) Management: Monitor and report on RAS at the group and organizational level. Conduct periodic threshold reviews. Implement a breach management framework. Prepare and report on Group RAS metrics. Internal Control Policy Review: Review and implement key policies, including BCP, Outsourcing, Error Trade Policy, Fraud Prevention, and Operational Risk Management. Ensure policies align with regulatory requirements and organizational objectives. Conduct gap analyses and strengthen controls within existing processes. Validation of the compensation given to the clients. Enterprise Risk Management (ERM): Develop and implement the ERM framework. Monitor critical organizational parameters to enhance enterprise-wide risk visibility. Prepare the ICAAP document as part of the ERM process. Risk and Compliance Awareness / Culture: Periodically conduct awareness sessions on risk and compliance. Perform weekly surveillance of mis-sales and business associates (BA). Exception Reporting and RCA Framework: Conduct in-depth Root Cause Analysis (RCA) for exceptions and anomalies. Systematically address and prioritize deviations to ensure long-term solutions. Process Gaps and Exception Reporting: Identify failures in product design, operations, or process implementation. Collaborate with stakeholders to resolve open observations and ensure timely follow-ups. Communicate RCA findings and identified issues effectively across the organization. Review and update process documentation to address identified gaps. Enhance system controls to mitigate risks. Qualifications and Skills Educational Qualification: MBA/CA with a minimum of 2 years of relevant experience in internal control functions or operational risk management. Industry Experience: Candidates with relevant experience in the broking industry are strongly preferred. Technical Skills: Strong understanding of risk management frameworks and regulatory compliance requirements. Proficiency in designing and monitoring policies, RCSA, and RCA frameworks. Knowledge of enterprise risk management, fraud prevention, and internal control systems. Soft Skills: Excellent analytical and problem-solving capabilities. Strong communication and stakeholder management skills. Detail-oriented with a proactive and structured approach to resolving issues. Experience in the broking industry or financial services sector, especially in broking, depository services, or portfolio management .

Role & responsibilities The role within the Risk and Compliance function holds a level III position in the organizational hierarchy, reporting directly to the Managing Director. As the principal point of contact for Risk and Compliance, the incumbent will collaborate closely with the GEI management team, external stakeholders, and vendors to implement strategic solutions that align with key business objectives. She/ He will lead the design, implementation, and oversight of the company's first line risk framework. This role is critical in establishing a robust risk culture and ensuring proactive risk management practices are embedded across all Centers of Excellence and Entity Services (also referred as business units) The individual will act as a key liaison between the first and second lines of defense, driving alignment with regulatory requirements, industry standards, and strategic objectives. Bachelors degree in finance, business administration, risk management, or a related field (master’s degree preferred). Minimum of 10 years of experience in risk management, with at least 5 years in a leadership role. Proven experience in building and implementing risk frameworks within a complex organization.

In this role, you will: Participate in less complex development and design of methodologies and standards for review activities companywide in alignment with the risk management framework Ensure effective and appropriate testing, validation, and documentation of review activities for risk programs, risks, and controls according to standards and other applicable policies within Independent Testing Support and implement less complex initiatives with low to moderate risk and exercise independent judgment to guide risk reporting, escalation, and resolution Present recommendations for resolving more complex situations and exercise independent judgment while developing expertise in risk management framework and the risk and control environment Collaborate and consult with colleagues, internal partners and management Required Qualifications: 2+ years of Independent Testing experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Strong Control testing/Internal testing expertise. Shift timings 1:30 PM to 10:30 PM

We are seeking an Senior Risk Analyst who is eager to build a career in market, credit, operational (ORM), and liquidity risk management. This role offers hands-on exposure to risk modeling, stress testing, RCSA frameworks, and regulatory compliance. Location: Hyderabad Experience: 4+ years Education: Bachelor's/Masters in Finance, Economics, Statistics, Mathematics, or related fields What You’ll Do: Risk Analysis & Reporting – Assist in data aggregation, risk dashboards, and scenario analysis. Market & Credit Risk Evaluation – Learn VaR, Expected Shortfall (ES), credit risk assessment, and stress testing. Operational Risk & RCSA Support – Work on RCSA frameworks, cyber risk monitoring, and fraud prevention. Regulatory Compliance & Governance – Understand Basel norms, RBI & SEBI regulations, and liquidity risk management. What We’re Looking For: 4+ years of experience in financial risk management, ORM, treasury, or investment risk. Basic knowledge of risk modeling, operational risk frameworks, and regulatory compliance. Strong analytical skills; familiarity with Excel, SQL, Python, or R is a plus. Interest in RCSA, cyber risk, and financial fraud prevention. Excellent problem-solving & communication skills.

KRI: Proficient in communication skills Business Operation Risk Management Handling Op Risk (Op Loss, Near Miss, KRI, etc.) Resolving issues from various sources (Op Risk, Audits, Others) Line of Defense shamli.urbanecorps21@gmail.com/8855045944

Summary of the role: The Risk Manager is responsible for the implementation and ongoing management of the Enterprise Risk Management Framework ( ERMF ) in the relevant Business Units ( BU ). The Risk Manager identifies and assesses risks relevant to the organization, while advising and supporting on effective risk management practices. The Risk Manager will work closely with all business areas as well as the Enterprise Risk team to support the relevant Board of Directors in setting appropriate risk appetites and designing a robust internal control environment to mitigate the risks to which the BU is exposed. ESSENTIAL DUTIES AND RESPONSIBILITIES 1. Promote and Embed Risk Culture: Support the promotion, dissemination and communication of the ERMF in the relevant BU s. Foster a strong risk culture by ensuring the understanding and embeddedness of the ERMF in day-to-day activities particularly through the effective utilisation of the in-house risk system ERMA (Enterprise Risk Management Application). 2. Implementation of the ERMF: Oversee the integration of the ERMF within the relevant BU s, focusing on the identification, assessment and management of material risks and their controls. Manage the alignment of the Risk Management Framework and governance mechanisms Establish, participate and manage running of Risk Committees as appropriate and manage Board approved governance documentation aligned to ERMF including Enterprise Risk Management Policy, Risk Appetite Statement and Risk Registers 3. Support the Ongoing Enhancement of the ERMF Assist the Group Head of Enterprise Risk with ongoing enhancement of the ERMF by proactively identifying new or emerging risks that could impact the BU or wider organisation Consolidate and analyze risk information to assess the potential impact on risk areas Drive the roll-out and completion of bi-annual 2LOD Risk and Control Self-Assessment (RCSA) and 1LOD Control Self Assessment (CSA) to ensure robust risk and control practices Compile and maintain ongoing and periodic risk reporting to keep stakeholders informed of risk trends and mitigation efforts. 4. Oversee Event and Decision Escalation Management Ensure the effective identification, management and remediation of risk-related events within the relevant BU s Establish and embed processes to track and close risk-related events in a timely manner Report or escalate any Events in line with Escalation protocol REQUIREMENTS To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed in this job description are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Waystone has an open and inclusive culture and we encourage candidates from varied backgrounds and experiences to apply. Education: An internationally recognised professional qualification. Strong academic background including a Degree in Finance/Business/Economics or related field. Skills/Experience: Demonstrable knowledge of risks identification, assessment, and management frameworks. Strong ability for design, implement and execution of control frameworks. An internationally recognised professional qualification or bachelor s degree or significant experience in risk, compliance or operations-based control function Minimum of 5 years relevant experience in the financial sector with proven path of advancement Excellent interpersonal and communication skills, both written and verbal Ability to think strategically, prioritise effectively and balance competing deadlines and stakeholders

Job Description: Conduct detailed evaluations of the financial product journeys and processes (new or existing) to identify potential risks including financial, regulatory, reputational, and operational. Assessment of the banking Products to ensure adherence with applicable regulations and internal policies by evaluating the Design & Operating Controls effectiveness to address the identified risks during the product lifecycle Collaborate with Product Owners to ensure all identified risks are accurately captured and documented and providing recommendation for mitigating risk exposures Work closely with cross-functional teams, including Products, Technology, Compliance, InfoSec, Finance, etc. for risk management strategies into product finalization Monitor operational risk indicators and escalate any potential breaches or concerns Carrying out ORM activities like RCSA, KRI, incident management, Loss data management etc Assist in preparing various risk reports Experience: 5-10 years of experience in Risk Management within the Indian BFSI industry, with a specific focus on core banking products such as Savings Accounts, Current Accounts, and Payment Products. Education: Bachelors degree in Risk Management, Business Administration, Finance, or a related field. Professional certifications in Risk Management (e.g., CRISC, FRM, CA, etc. ) are preferred. Experience in a similar role within the banking or financial services industry is highly desirable. Technical Knowledge: Strong understanding of Indian financial products (Savings Accounts, Current Accounts, UPI, Wallet etc.) and platforms. Knowledge of Indian regulators and their requirements applicable to the financial institutions Ability to ensure product compliance with operational risk requirements Understanding with risk management frameworks. Proficient in control design and testing methodologies. Proactive identification and mitigation of risks to safeguard the bank and its customers. Excellent communication and collaboration skills to work effectively with cross-functional teams. If Interested Kindly Share your resume at b.aishwarya@beanhr.com

Highlight below pointers in your cv if relevant experience: Skills: Risk and control, RCSA, control testing, 1LOD Someone who can formulate and implement controls, Identify Risk, Perform Risk. Only from banking or consulting having banking domain expertise. Shift 1:30 -10:30 PM Role & responsibilities Handling Risk control self-assessment review for Consumer Small Banking Business line of business. Assisting the team in Pre & Post RCSA Workshop activities like Fact Pack creation, Operational Risk Questionnaire. Assisting the team to perform RCSA activity from validating the service modelling, analysing the risk and mitigating controls with predefined taxonomy framed by the bank Executing the Risk & Control creation in tool to evaluate the inherent & residual risk exposure for all the processes with the LOB Support Change management activities for the business process for any changes occurs as part of RCSA. Support Operational Risk Events, Issue Management and Reporting activities. Responsible for handling Risk control self-assessment review for Wealth & Investment Management Business. Performing end to end data input for assessment process post the testing and validation executed by the business. Supported change management commotion for the state side partners on various projects. Responsible for investigating the Operational Risk events occurred from various LOBs under Wealth and investment management. Preparing effective document summary form with relevant supporting documents to substantiate the Risk event. Executing the resolution in Operation Risk event tool. Performed Quality assurance for the events executed by the processor. Managing the reporting activities for the Operational risk events. Preferred candidate profile Perks and benefits

Location : Mumbai (Kalina) / Seawoods - Navi Mumbai Level: Senior Manager (L3) Reporting to: Head-Operational Risk Management ROLE AND RESPONSIBILITIES Support Head-ORM in implementing Operational Risk Management framework and facilitate understanding of operational risk requirements across Business, Support & Operations units assigned. Review Risk Register (identification of risks and their controls), RCSA and KRI for assigned units. Reviewing the Risk Register and RCSA that are updated in line with change in Product/ Process/ Technology/ Regulations from time to time. Undertake timely periodic review of Key Risk Indicator (KRI) and Risk and Control Self- Assessment (RCSA) exercises. Review the Loss Event Reporting for the units assigned as per the ORM policy and ensure the Root Cause is analysed, Corrective Actions taken and Preventive Actions drawn up to prevent re-occurrence. Reach out to other internal and external stakeholders as may be required to validate the submission. Track the appropriate and timely resolution of Issues and Preventive Actions identified by units. Review Product Notes and Processes (SOP / Policy / Manuals) to identify key risks and ensure mitigates / controls are provided by owners. Bring in and sustain improvement in the operational efficiency and effectiveness of operational risk processes for the assigned units. Support in preparation of decks for monthly reviews with Senior Management. Providing relevant inputs for the ORMC Deck. Other ad-hoc assignments and projects that may be assigned from time to time. QUALIFICATIONS AND EDUCATION REQUIREMENTS Graduate / Post Graduate with a minimum 5 years experience in First/Second Line Operational Risk Management. A Professional Degree with an experience in Assets Operations, Branch Banking Operations, Treasury units within a Bank will be an added advantage. Experience in implementing Operational Risk Management tools (RCSA, KRI, Incidents) for units. Good knowledge of Banking products for SMEs, Supply Chain, Micro Finance and Treasury. Understanding of industry trends and developments as well as their impact on the business Strong communication and writing skills & fluent in written and verbal English.

In this role, you will: Manage the development, implementation, and monitoring of a risk-based program for a business or large functional area with moderate to high risk to identify, assess and mitigate operational risk that arises from inadequate or failed internal processes, people, systems, or external events Maintain a balance between risk mitigation and operational efficiency Evaluate the adequacy and effectiveness of policies, procedures, processes, systems, and internal controls Analyze business and system changes to determine impact, assess operational risk issues, and assign risk ratings consistent with established policy standards Provide operational risk expertise and consulting to complex business units for initiatives with high risk Design and develop testing strategies, methodologies and analyses Consult with the business to develop corrective action plans and effectively manage change Identify training opportunities Design and coordinate the development of training materials and coordinate or deliver training Report findings and develop business cases to influence management on the need for controls to mitigate risk Manage and coordinate production of periodic operational risk performance reports for management, including trend research and recommended strategies Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals Required Qualifications: 4+ years of Operational Risk experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Overall 4+ yrs of experience with hands on experience with RCSA, Risk assessment, control reviews. Exposure to Banking business domains and Technolgy processes Ability to understand the risk exposures and identify potential emerging risks from banking technology processes. Any skills in automation such as Python, excel macros, or reporting and AI are additional advantage Job Expectations: Knowledge and understanding of continuous monitoring tools/detection tools/controls/processes including technology processes, and ability to identify emerging risks and offer mitigations recommendations Business domain knowledge on Banking business functions processes Experience with Risk Appetite Metric and Key Indicator programs Experience with Risk Control Self-Assessment (RCSA) process Experience with Operational Risk Event (ORE) assessment process Experience with Enterprise Risk Identification (ERID) assessment process Experience with Tableau and other visualization tools, with the ability to incorporate a visual data story into an actionable narrative for executive audience Knowledge of SHRP and other risk systems Experience in establishing and managing training programs Ability to review and develop work plans and effectively summarize results

About this role: Wells Fargo is seeking a Business Execution Consultant In this role, you will: Participate in a variety of assigned and ongoing business operations to ensure success in meeting business goals and objectives Identify opportunities for process improvement by conducting root cause testing of all compliance and business metrics Determine areas of strength or Business Execution opportunity within defined scope of work Review and research strategies and action plans to establish effective processes while meeting performance metrics and policy expectations Utilize independent judgment to guide moderate risk deliverables Present recommendations to develop, implement, and monitor strategic approaches, effectiveness of support function, and business performance improvement opportunities for managing risks of the business Exercise independent judgment and provide guidance in diverse support functions and operations for a single business group within a line of business Collaborate and consult with leaders and executive management Provide work direction to less experienced Strategy and Execution staff Required Qualifications: 2+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Strong experience in Risk management or in Audit or in RCSA Experience in one or more risk disciplines like Information Security, Business Continuity, Data Privacy, operational risk, financial crime, or regulatory compliance is an advantage Preferred experience in understanding Risk Management Proficiency in Microsoft (Excel, PowerPoint, Word) Excellent communication skills in English, both oral and written, with the ability to articulate issues to management Job Expectations: Understanding and analyze the need for a Third Party and the Risks that it could come with during the process of engagement In-depth knowledge of Third-Party Due Diligence process of Identifying, assessing, and mitigating third party risks during and after entering contracts during onboarding, ongoing monitoring, and termination processes In depth understanding on different type of Services and engagements with the third Party Service provider Gathering information from business on the service, evaluating them, finalizing compliance and risk evaluations, and updating them in the tool as a part of Due diligence activities Follow up with the Risk Partners and provide adequate responses incase of any questions queries about the provided responses Collaborate with Lines of Business and other required stakeholders Serving as a Subject Matter Expert (SME) to identify and address key third party related risks and areas of concerns associated with new and existing third-party relationships. Ability to translate the Risk Entities to the Line of business and address the requirements and concerns Determine areas of strength or Business Execution opportunity within defined scope of work Review and research strategies and action plans 7to establish effective processes while meeting performance metrics and policy expectations. Present recommendations to develop, implement and monitor strategic approaches, effectiveness of support function, and business performance improvement opportunities for managing risks of the business. Ability to challenge Lines of Business if needed during the process of Risk evaluation and also provide interim/ adequate communication wherever needed Develop expertise in the Enterprise Third Party Risk Management policies.

Role Title : VP, Issues Management Leader Company Overview : Synchrony (NYSE: SYF) is a premier consumer financial services company delivering one of the industry's most complete digitally enabled product suites. Our experience, expertise and scale encompass a broad spectrum of industries including digital, health and wellness, retail, telecommunications, home, auto, outdoors, pet and more. We have recently been ranked #2 among Indias Best Companies to Work for by Great Place to Work. We were among the Top 50 Indias Best Workplaces in Building a Culture of Innovation by All by GPTW and Top 25 among Best Workplaces in BFSI by GPTW. We have also been recognized by AmbitionBox Employee Choice Awards among the Top 20 Mid- Sized Companies, ranked #3 among Top Rated Companies for Women, and Top-Rated Financial Services Companies. Synchrony celebrates ~51% women diversity, 105+ people with disabilities, and ~50 veterans and veteran family members. We offer Flexibility and Choice for all employees and provide best-in-class employee benefits and programs that cater to work-life integration and overall well-being. We provide career advancement and upskilling opportunities, focusing on Advancing Diverse Talent to take up leadership roles. Organization Overview: Enterprise Risk provides oversight on Synchrony-wide initiatives and projects and manages issues, risk assessment & reporting, risk monitoring activities, policy standards and procedure framework for governance documents, and strategic enhancements of the eGRC tool. The first line governance teams deliver on these policies and procedures for managing governance within their functions and on a cross functional basis. Second line risk provide challenge to the first lines risk identification and monitoring practices. Role Summary/Purpose: The VP, First Line Finance Issues Management Leader is responsible for driving Issues Management program across the Finance organization. This role shall oversee all ongoing governance activities related to Issues, Incident and Remediation Management and Internal Data Loss reporting. Additionally, the successful candidate will be helping to drive the stand up of the new operating model across Finance and may have additional responsibilities across the other Governance programs such as metrics and reporting, policies and procedures, exam support, supplier oversight, Risk and Control Assessments and others. The successful candidate for this role is a leader with strong communication skills, the ability to manage through influence, and prior experience managing cross-functional governance initiatives. This role will have a high level of visibility across and communicate effectively with all levels of the organization. Key Responsibilities: This role has primary responsibility to lead and represent the Issues Management program for Finance. Examples of deliverables include but are not limited to the delivery of process improvements; standardizing the documentation, management and thematic root cause analysis of issues, incidents and loss events; the reporting of emerging issues, open issues, trend analysis and status, and project management of complex issues. As an expert in the Issues Management program, this role will prepare and facilitate delivery of issues review meetings across an array of Finance stakeholders and second and third lines of defense. Lead and provide direction to a team (direct or matrixed) of issue coordinators and cross functional experts. Drive effective identification and management of compliance or operational risks, develop solutions, and assist team with remediation and resolution. Oversee the remediation program for significant events across Finance and partner with the SYF Remediation Team. Socialize and embed into Finance, the effective tools, systems and controls for analyzing and monitoring risks (e.g., Remediation Workflow). Establish effective relationships with all operational areas including, but not limited to Compliance, Operational Risk, Governance, Internal Audit, etc. at the leadership level and other supporting levels. Be connected across Governance programs within Finance for ensuring that Issue Management activities feed into other Governance Risk and Control assessments such as RCSA, SOX etc. Work directly with governance counterparts (Technology & Operations, Growth, Sales, Credit, & Growth etc.) in coordination on issue management standards and activity needs. Coordinate the activities required to support various committees, ensuring applicable presenters are scheduled to speak to issues as well as completed materials are provided to the appropriate committee coordinators. Validate all activities pertaining Loss Data Reporting (internal and external) including coordination of required Finance attestation. Oversee the development of Finance specific policy, procedures, job-aids and training as it pertains to the evolution of a robust Issues Management program. Ensure compliance against all regulations and legislation relating to Issues Management policy and procedures. Oversee the delivery of webinars and training that build Issues escalation awareness and understanding within the Finance Function. Partner with Finance Learning and Development team to create training materials to assist with education of employees on Issues Management process. Manage special projects where required and assist in remediation. Given the establishment of the team and operating model, additional responsibilities may include assisting with other governance responsibilities such as RCSA, Exam Support, supplier oversight, Risk and Control Assessments and others. Qualifications/Requirements: Bachelors degree in a related field of study (Business, Finance, Risk) 8+ years of professional work experience in a regulated Financial Services organization or External/Internal Audit capacity within Financial Services practice or 10+ years of professional work experience in-lieu of graduation 5+ years of experience in Governance, Risk and Control role which included Issues Management responsibilities (can be concurrent), or 7+ years of relevant experience in-lieu of graduation Desired Characteristics: Centralized Governance / Risk and Control team experience Internal or External Audit and/or first line risk and control experience Issues Management, SOX, RCSA, Surveillance, Metrics Reporting experience within a Financial Services organization Experience managing a small team and having matrixed staffing Understanding of Finance systems & processes Experience with regulatory engagements including direct communication with regulators Demonstrated knowledge and understanding of relevant legislation, regulations, and policies Direct experience in a role requiring communicating with senior levels of management in a regulated environment Strong presentation and communication skills with a demonstrated business presence while interacting with senior leaders Strong attention to detail, analytically minded, skilled-documentation skills and effective multi-tasker Strong presentation and communication skills with a demonstrated business presence while interacting with stakeholders Finance qualifications, CPA preferred Strong attention to detail and superior writing and editing experience and skills Ability to drive results independently and prioritize multiple workstreams Excellent time management and organization skills Ability to manage multiple competing initiatives, drive process improvements and deliver results within deadlines with a focus on accuracy and attention to detail WORK TIMINGS : (8:00AM EST to 4:00PM EST)

JD for DLP : Data Leakage Prevention Assistant Manager / Manager: Design and enforce Data Leakage Prevention (DLP) policies across email, endpoints, cloud, and network environments. Configure, monitor, and fine-tune Zscaler DLP to prevent unauthorized data transfers. Investigate, analyze, and respond to DLP alerts while ensuring timely remediation of policy violations. Conduct security awareness programs on data protection best practices. Continuously assess and improve DLP rules to reduce false positives and enhance effectiveness. Generate and present periodic reports on DLP incidents, violations, and risk trends to senior management Share KRI reports for inclusion in dashboards, KRI tracking, RCSA reports, and other governance activities Experience : Minimum 2 years of experience in configuring, managing & monitoring DLP solutions preferably Zscaler. Expertise in DLP rule creation, policy tuning & incident handling across email, endpoint, cloud & network environment. Proven ability to investigate & remediate data leakage incidents

Job Purpose Support and act as a key team member of LOS Compliance unit for review of functional applications controls across various lending applications. Duties and Responsibilities Lead projects of LOS (lending Origination Systems) Compliance for one of the largest, most prestigious NBFC, be part of Fintech Transformation journey of BFL. Guide, manage and review compliance assignments in the areas of IT application controls (ITACs) or manual functional mainly comprising of- Access control review. Segregation of Duties (SOD) controls review- review of actual accesses against set policy. Functional lending functions of SFDCs and other similar applications such as workflows review, layout reviews and data analytics. Ensure existing and ongoing internal, RBI and any other statutory compliances for the lending application processes from IT and functional perspective. Support to such audits. Pushing teams for closure of above observations by maintaining trackers. Excellent hands-on experience in MS Excel and good at data analytics. Demonstrate technical & functional understanding of lending applications like SFDCs, ATOS, etc. Work jointly with a dynamic & growing team having diversified experience With various BFL Fin-tech initiative, candidate need to have agility to adopt to new changes and put state of art review process. Also drive specific projects around IT & Fintech. Key Decisions / Dimensions Scope and methodology of testing approach while reviewing LOS functional processes across journeys with respect to profiles. Sample sizes to be picked up for process review Validation of explanations/justification for reported exceptions. Major Challenges Understanding the complex IT environment and applying the existing regulations/controls for the same. Reviewing the LOS functional processes especially access loan booking journeys. Required Qualifications and Experience a)Qualifications BE/B.Tech/CA/MBA/ CISA with 5-8 years of experience in similar role. Willingness to work in compliance function conducting IT reviews for lending functional controls. b)Work Experience Strong technical knowledge of given domains, ability to stay up to date with latest technologies. Strong analytical skills. Highly motivated, self-starter, Agile, Quick Learner Excellent oral and written communication, clarity of thoughts Demonstrated success & achievement orientation c)Skills Keywords LOS Compliance, CA, CISA, Access controls, SOD review, segregation of duties, Info Security, NBFC compliance, IT Controls, Functional control testing, ITGC reviews, SFDCs, salesforce.

Job description Live Connections Placements Pvt. Ltd. or LiveC as we are popularly known as, is a 26+ year old search and recruitment organization that specializes in finding and placing professionals across several sectors around the globe. We bring to the table a cumulative recruitment experience built over two decades. We have placed over 60,000 people for 350+ clients in multiple domains. We began with recruiting for a few domains in 1996. Today our capability to service different domains has grown and we work with clients in Tech and Tech Enabled Services, Banking, Financial Services & Insurance, Manufacturing, Automotive, SCM & Logistics, FMCG, Durables, Retail and Energy. Follow for more https://in.linkedin.com/company/live-connections About Client: We are hiring for one of the with a significant global presence. The company operates in 35 countries and serves over 70 million customers worldwide. has established itself as a trusted provider of banking, mortgage, investing, and financial services to millions of individuals, businesses, and communities nationwide. Employment: Full-time Role: Risk and Control Work Location: Hyderabad Experience: 6-15 years Mode: Work from Office Shift timings: 1.30 PM to 10.30 PM Join our dynamic team to help drive regulatory adherence, risk mitigation, and control enhancements in a global environment. If you have a passion for detail, strong analytical skills, and a drive to make an impact, wed love to hear from you! Role Highlights: Analyze business processes and recommend risk mitigation strategies. Collaborate with global teams to ensure compliance with regulatory frameworks. Manage and maintain records for licensed and certified employees. Support process improvements and execute key controls for international accountability regimes. Produce and analyze reports to support management oversight. What Were Looking For: Experience: 5+ years in risk management, compliance, quality assurance, or related fields. Skills: Strong organizational, analytical, and problem-solving skills. Exceptional written and verbal communication. Proficiency in MS Word, Excel, PowerPoint, and Outlook. Traits: Ethical, detail-oriented, and a team player with a global mindset. Bonus Points: Experience managing compliance for licensed or certified employees. Familiarity with regulatory applications and international accountability regimes. Project management expertise. If interested and suitable please share your updated profile to gowthami@livecjobs.com Do share references and Please share our contact with friends/colleagues who are looking out for a change, maybe we can help them in finding one. Wish you All the Best !!

Operational Risk Manager Are you passionate about managing and mitigating operational risks in a fast-paced, technology-driven financial ecosystem? Our client, a leading digital lending platform, is looking for an Operational Risk Manager to join their growing team. About the Role As an Operational Risk Manager , you will play a critical role in ensuring risk mitigation within credit operations. You will be responsible for identifying operational risks, implementing control measures, ensuring compliance with regulatory guidelines, and collaborating with cross-functional teams to strengthen risk management practices. Key Responsibilities Identify operational risks across credit processes, including loan origination, underwriting, disbursement, and collections. Develop and implement robust control measures to mitigate risks, ensuring adherence to company policies and regulatory requirements. Ensure compliance with RBI guidelines and other relevant regulations. Investigate risk incidents, identify root causes, and recommend corrective actions. Track and report key operational risk indicators (KRIs) to provide early warnings. Conduct regular audits of credit operations to ensure regulatory compliance. Prepare detailed risk assessment reports for senior management. Collaborate with Credit, Risk, Compliance, and Technology teams to implement risk mitigation strategies. Conduct training sessions for credit team members to promote risk awareness. Ideal Candidate Profile Highly driven and motivated with a hands-on approach. Strong communication and stakeholder management skills. Proactive and able to work independently in a dynamic environment. In-depth knowledge of operational risk frameworks, particularly within credit operations. Qualifications & Experience CA/MBA with 5-10 years of relevant experience in Operational Risk Management. Experience in assessing and managing operational risks across business processes. Expertise in creating and maintaining Risk Registers, conducting periodic Risk Control testing, and implementing mitigation strategies. Ability to engage with stakeholders to address operational risk gaps. If you have the expertise and enthusiasm to contribute to a growing digital lending business, apply now to be part of this exciting opportunity!

About this role: Wells Fargo is seeking a Control Management Specialist In this role, you will: Participate in mitigating current and emerging risk exposures associated with the activities and operations of the assigned business group, and identify opportunity for process improvements within the scope of defined business control responsibilities Review and analyze basic business challenges that require research, evaluation, and selection of alternatives Develop and implement risk monitoring, risk reporting processes, and controls while evaluating and reporting results where necessary Present recommendations for resolving complex situations and exercise independent judgment while developing Control Management functional area expertise Provide support in the interpretation of policy, guidelines, and governance programs as front line liaison to Independent Risk Management area Collaborate and consult with Control Management team and key stakeholders, including internal customers Required Qualifications: 4+ years of Risk Management or Financial Services industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Experience in automation / advanced excel / reporting will be an advantage. General knowledge of industry standards and best practices around control evaluations / testing, internal audit and risk management processes. Experience creating test questions or test scripts Experience assessing control design and performance through testing, audit or Risk Control Self-Assessment practices Experience assessing processes, procedures and identifying controls Experience in assessing risk, reviewing risk ratings, identifying control gaps and determining the appropriate evaluation methodology Job Expectations: Design, maintain and execute the control evaluation scripts, identify control deficiencies, document and escalate potential issues to appropriate stakeholders. Validate & track action plans, escalate issues as required and document the control test artifacts and findings. Perform control evaluations for moderate to complex engagements, challenge status-quo and identify opportunities to add efficiencies or refining the existing processes. Engage and work with multiple stakeholders - front line business groups, risk program aligned functions and IRM teams for driving the objectives of risk and control programs. Instill and drive proactive risk culture, operational excellence and efficiencies

Control & Compliance Position: Lead-Client Ops Education: CA/CA inter Exp: 12+ yrs Exp in Risk assessment, ToD/ ToE for process controls relating to P2P, O2C, & R2R,SOX principles, COSO Frameowrk. Loc: Jaipur Salary upto.30LPA Regards, Js4u Team

Develop predictive/prescriptive models using ML/statistical/AI techniques Collect/clean/preprocess large datasets from multiple sources Perform EDA/identify trends/patterns Implement models using Python/R/SAS Validate models Required Candidate profile 5+ yrs of exp in data science, model development/validation in BFSI Exp with machine learning, statistical modelling, and AI techniques. Exp in managing RCSA program at corporate level.

Develop predictive/prescriptive models using ML/statistical/AI techniques Collect/clean/preprocess large datasets from multiple sources Perform EDA/identify trends/patterns Implement models using Python/R/SAS Validate models Required Candidate profile 5+ yrs of exp in data science, model development/validation in BFSI Exp with machine learning, statistical modelling, and AI techniques. Exp in managing RCSA program at corporate level.

Section: Risk Management Team (1) Operational Risk Management : a) Regularly reviewing new products and process to identify inherent risk and gaps ,suggest suitable controls mitigating the risks. b) Preparing RCMs ,RCSA and assessing inherent risks and controls on periodical basis. c) Assessing operational loss data from loss events arising from risk events. d) Monitoring KRIs , incident reports, Preparing RCAs and follow-up for consequent management actions. e) Analyzing Business Continuity plans through Impact analysis of critical departments and preparing functional BCP documents. f) Branch monitoring, Scenario Analysis, training branch team on risk. Minimum Qualifications a) 2-6 years for Manager in MFI on Operational Risk management. b) Education - UG degree/PG(Finance) etc. c) MS office d) Strong analytical skills and the ability to understand process details and how they link to the organization’s strategy and objectives. e) Detail oriented with the ability to communicate the appropriate level of detail, depending on Target audience f) Excellent communication skills in English.

10 Years+ Exp. in Controls & Compliance (Required) (Internal Audit & Sox in Financial Projects) - 2nd Line of Defense (Exp. Required) CA/CISA/CIA/MBA Budget - Upto 30 LPA (fixed) 5 Days/Cabs Please Call - 9999869475 Required Candidate profile Experience in 2nd line of defense, risk management, financial internal control, sox experience is mandatory.

The ERM/BC Senior Analyst will perform executional and analytical tasks in support of the Enterprise Risk Management (ERM) and Business Continuity Management (BCM) programs. This individual will perform tactical duties in relation to ongoing program activities such as regular ERM risk refreshes, analytics and reporting on key firm risks, risk response validation, and maintenance of the components of the firms BCM program. They will also assist with analytics and other tasks related to ad hoc projects led by the ERM team. The Senior Analyst will be based in one of our GT INDUS office locations and report to the GTUS ERM team. Summary of Responsibilities: Perform the executional, tactical, and administrative work related to: Enterprise Risk Management (ERM): Risk analysis annual refresh including scheduling, follow ups, and status tracking. Risk analysis reporting compilation (spreadsheet management, PowerPoint depictions, etc.) Risk response validation plans, which includes performing investigative analyses of risk responses, gathering evidence to validate those responses, and forming conclusions as to the reasonableness of risk assessments. Administration of ERM Risk Track tool including ensuring ongoing alignment to organizational structure, access management, and compilation of risk reports Ad hoc analysis related to special projects and requests (e.g., Partnership Board requests, GTIL-GTUS risk register comparisons, Data Exfiltration, Asset Criticality, etc.) Ongoing key risk indicator monitoring according to ERM procedures. Business Continuity Management: • Ongoing maintenance of Business Continuity Management program documents including Business Impact Analysis (BIA), Business Continuity Risk Assessment, and Business Continuity Plans. • Ensuring compliance with Business Continuity cadence of required reviews and updates. • Assist in planning and execution of business continuity testing and exercises. • Business Impact Analysis execution support, including collaboration with business, updates to records in BIA, effective challenge of criticality ratings and recovery objectives, data manipulation for BIA report updates, and ongoing communication with ERM leadership. • Responsible for effective fulfillment of client information requests related to Business Continuity and ERM and participation in weekly Client Service Operations group meetings. • Provide administrative support for Crisis Management Plan ongoing updates and, in the event of a crisis, support Crisis Management Team.

Job Title:Divisional Risk and Control Analyst Location:Pune, India Role Description To assist with the management of the organizations Operational Risk framework by performing Control Effectiveness Testing against the controls identified within the Risk and Control Inventory process. This will enable support of the Banks strategic objectives by providing meaningful insight and guidance to a range of internal stakeholders across the Corporate Banking Divisions. This role is exclusively for candidates who have experience in Corporate Banking Operations internal control testing. As an Associate, you will be responsible for providing teams with an informed opinion on the effectiveness of controls they operate and how to mitigate operational risks. You will undertake testing of controls to validate designs, operating effectiveness and sustainability of controls operated by the Corporate Banking Operations team/s. You will need to articulate findings from testing work and raise issues where appropriate and agree actions plans to mitigate risks identified. What we'll offer you As part of our flexible scheme, here are just some of the benefits that youll enjoy Best in class leave policy Gender neutral parental leaves 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Employee Assistance Program for you and your family members Comprehensive Hospitalization Insurance for you and your dependents Accident and Term life Insurance Complementary Health screening for 35 yrs. and above Your key responsibilities Operational Risk Controls Testing Independently perform the Control Assurance Testing against the requirements Design and Operative effectiveness testing Determine that these controls are in line with the organisations assurance approach and with respect to requirements derived from various regulations Support the effective remediation of identified Control Deficiencies owned by the Operations, including the review of planned actions, the ongoing monitoring of implementation measures and the re-assessment after completion Maintain a structured testing plan to include method, levels of sample testing, stakeholder engagement and timelines for completion, follow up meetings, documented findings, and agreement on remedial action plans. Articulating verbally and write Controls Testing reports with minimal supervision Delivering Controls Testing reviews in line with quality and timeline expectations accountable for the accuracy of data in the Controls Testing templates Developing and maintaining relationships with stakeholders, and represent the Controls Testing & Execution team in meetings, working groups etc., as required Delivering quality outputs and own assigned tasks with a proactive approach Escalating issues with proposed solutions to the team lead in a timely fashion Maintaining relationships within the team Coaching more junior testers to improve their skills Establishing and maintaining collaborative relationships with staff (e.g.,CB Operations, Risk officers etc) as required to drive the completion of testing activity Your skills and experience The role requires the individual to have experience in conducting QA reviews as follows: Have a minimum of 8 - 10 years of experience in the field of Operational Risk Management, experience or understanding of 1st and 3rd Lines of Defense is an advantage Have experience in Corporate Banking products Trade Finance, Lending Operations, Trust and Agency services, Securities settlements etc Are fluent in English both written and spoken. Have excellent open communication and presentation skills, self-motivated, self-starter. Can identify the required data and perform an analysis, from a variety of source systems/processes Have excellent writing skills; can convey complex messages in simple ways both orally and on paper Are a team player able to build effective working relationships and operate. independently in a global environment Have a structured working style and are pro-active. Are fact based and solution oriented. Understanding of Operational Risk Control Testing principles Experience in running effective Operational Risk Control Testing reviews Ability to remain objective and independently assess processes in operational areas Ability to communicate and maintain an effective working relationship with the various Ops teams Inquisitive and probing approach to problem solving and general assessment Strong analytical skills, high attention to detail, solid organizational and interpersonal skills Strong ability to interact with, collaborate, communicate, and influence individuals at all levels Effective problem solving and decision-making capability Experience operating in a complex, global environment Excellent written, oral, and presentation skills Profound knowledge and experience of various Operational risk environments within Corporate Banking divisions Ability to work in fast-paced environment Open minded, able to share information, transfer knowledge and expertise to team members Keeps pace with technical/operational innovation maintains understanding of the Corporate Banking processes/products Proficient with MS Office programs (Excel, PowerPoint, Word, etc.)Education / Qualifications Bachelors degree level or equivalent qualification / work experience How we'll support you Training and development to help you excel in your career Coaching and support from experts in your team A culture of continuous learning to aid progression A range of flexible benefits that you can tailor to suit your needs